Broker-Dealer & Investment Advisory - Priori
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Highlights from Our Network of Broker-Dealer & Investment Advisory Attorneys

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20
LAWYERS WITH THIS EXPERIENCE
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$220-$455
HOURLY RATE RANGE
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10-33
YEARS EXPERIENCE
OUR LAWYERS HAVE EXPERIENCE ADVISING ON
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Regulatory and compliance issues, including FINRA, SEC, CFTC, NFA and state registration, membership, compliance, licensing and reporting.
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Business and fund structuring, formation and sales and acquisitions.
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Fundraising, including the preparation of offering, marketing and subscription materials.
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Defense of regulatory actions and investigations, including sales practice violations, anti-money laundering, variable annuity issues, fraud and insider trading claims.
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Advising on brokerage and portfolio trading practices.
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Acting as outside general counsel to hedge funds and private equity firms.
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Investment Advisory Act compliance.
OUR LAWYERS’ PAST FIRM EXPERIENCE & CLIENTS INCLUDE
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RESOURCE PAGES
CFTC Compliance
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FINRA Compliance
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Hedge Funds
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Broker-Dealer Registration
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Private Equity Funds
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SEC Compliance
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